Search for: "Financial Industry Regulatory Authority"
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20 Aug 2021, 2:50 pm
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker William Wright from the securities industry. [read post]
26 Feb 2021, 7:07 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended broker Sean Daniel McDevitt from the securities industry over allegations that Mr. [read post]
26 Aug 2021, 8:03 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Donald Fowler from the securities industry. [read post]
6 Jun 2023, 7:49 am
Broker Investigation: Jeffrey Cohen of Moloney Securities On June 5, 2023, the Financial Industry Regulatory Authority (FINRA) reportedly barred financial advisor Jeffrey Cohen (CRD #2528929) from the securities industry. [read post]
23 May 2014, 5:05 am
The Financial Industry Regulatory Authority (FINRA) recently barred FSC Securities Corporation (FSC Securities) broker Timothy Moran (Moran) concerning allegations that the broker: (1) engaged in private securities transactions without providing his employer with prior written notice; (2) failed to respond to FINRA requests for information; (3) provided false information to FINRA; and (4) failed to disclose a tax lien on a Form U4. [read post]
27 Mar 2023, 8:09 pm
September 2019 – The Financial Industry Regulatory Authority Inc. reportedly censured Newbridge Securities and fined the firm $225,000 for having failed to adequately supervise the sale of complex securities such as structured notes and leveraged, inverse and inverse-leveraged exchange-traded funds. [read post]
27 Dec 2017, 7:37 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), in July 2017 a customer filed a complaint alleging that Larson Financial made unsuitable recommendations and material omissions in the sale of a variable universal life (VUL) policy that was purchased in 2013. [read post]
26 Dec 2019, 9:05 pm
The rule would require over 3 million SNAP recipients to meet independent financial eligibility standards. [read post]
14 Jun 2017, 7:53 am
Broker David Sheppard (Sheppard) was recently sanctioned by The Financial Industry Regulatory Authority (FINRA) in an enforcement action that led to a permanent bar against the broker. [read post]
27 Jul 2009, 10:37 am
Financial Industry Regulatory Authority (FINRA) today announced a cooperation agreement whose objective is to "enhance the effectiveness of both organizations through the exchange of information and other cross-border assistance. [read post]
7 Oct 2019, 8:29 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred Lowder from working in the securities industry after he allegedly refused to provide testimony in FINRA’s investigation. [read post]
11 Dec 2019, 12:40 pm
According to the Financial Industry Regulatory Authority (FINRA) on December 10, Gerald T. [read post]
6 Jun 2019, 12:18 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), the majority of customer complaints against Black concerns allegations over variable annuity sales practices. [read post]
13 Sep 2011, 5:22 am
Last week, CapWest Securities announced it had filed withdrawal papers with the Financial Industry Regulatory Authority (FINRA). [read post]
28 May 2014, 5:49 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned MML Investors Services, LLC (MML Investors a/k/a MassMutual Life Insurance Company) broker Monte Miron (Miron) concerning allegations that Miron made unauthorized trades in client accounts and that the broker failed to disclose certain tax liens on his Form U4 in a timely manner. [read post]
13 Aug 2021, 2:40 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor John Cangialosi from the securities industry for nine months. [read post]
27 Jul 2015, 6:39 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Peter Girgis (Girgis) has been the subject of at least three customer complaints, several unreported judgement or liens, one employment separation following allegations by his brokerage firm, and two regulatory actions taken by FINRA. [read post]
8 Feb 2017, 6:34 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Brett Murphy (Murphy). [read post]
8 Feb 2017, 6:34 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Brett Murphy (Murphy). [read post]
11 Jun 2017, 5:13 am
Broker Andrew Kramer (Kramer) was recently sanctioned by The Financial Industry Regulatory Authority (FINRA) in an enforcement action. [read post]
